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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2023-04-20 |
Branch Locations
3965 Dallas Parkway Frisco Trac, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities, Inc. | Greenwood Village | CO | 12/2011 | 08/2018 |
| Guardian Life Insurance Company | Baton Rouge | LA | 09/2018 | 08/2019 |
| Park Avenue Securities Llc | Baton Rouge | LA | 09/2018 | 08/2019 |
| Pruco Securities, Llc | Metairie | LA | 09/2019 | 07/2020 |
| The Prudential Insurance Company Of America | Metairie | LA | 09/2019 | 07/2020 |
| Horace Mann Companies | Springfield | IL | 07/2020 | 03/2023 |
| Horace Mann Investors Inc | Springfield | IL | 06/2020 | 03/2023 |
| United Partners Insurance Llc | Baton Rouge | LA | 07/2020 | 03/2023 |
| Advised Assets Group, Llc | Greenwood Village | CO | 06/2016 | 08/2018 |
| Tiaa | Prairieville | LA | 03/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Prairieville | LA | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-19 |
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